Vetting guidance Introduction

Transcription

1 Vetting guidance Introduction Introduction Vetting provides a degree of assurance as to the integrity, reliability and trustworthiness of those who have wider access to Force criminal intelligence, financial and operational assets. This includes information held on computer databases and in any other form. West Yorkshire Police is legally responsible for ensuring that the integrity of members of staff and people working on or visiting Force premises is beyond reasonable doubt. We are also committed to ensuring that the vetting process is fair and consistent. All members of staff, as well as those working on or visiting Force premises, will be subject to a police Basic Check. Individuals who require higher levels of access to police or government protectively marked documents will be subject to further checks. Compliance Police Reform Act 2002 Freedom of Information Act 2000 Race Relations (Amendment) Act 2000 Data Protection Act 1998 Human Rights Act 1998 Official Secrets Act 1989 Crime and Disorder Act 1988 Rehabilitation of Offender's Act (Exceptions) Order 1975 Health and Safety at Work Act 1974 Home Office Circular 48/2001 National Recruitment Standards - Eligibility Criteria for Police Recruitment and Consistent Recruitment Practices ACPO Vetting Policy for the Police Community Prerequisite of employment Vetting is a prerequisite of employment and applicants who refuse to undergo the procedure will not be considered for appointment. Similarly, existing post holders must comply with the process in order to allow the Force to check their suitability. Prerequisite to access All members of staff must expect to be the subject of particular scrutiny before they are trusted with access to sensitive police or government assets. These high standards are also expected of non police personnel, e.g. interpreters. Vetting guidance Page 1 of 35

2 Management advice If vetting information is not provided or vetting clearance is not obtained, advice will be sought from: Professional Standards Department for police officers; and Personnel Advisory Teams for police staff. Vetting information not provided Officers and members of staff are required to comply with this policy. Officers and members of staff who refuse to comply with this policy or are unable to comply will be subject to review, which may result in disciplinary action. There may be some individuals who find it genuinely impossible to provide all the information required for vetting, for reasons outside their control. If this is substantiated by the investigation (i.e. it is not found to be a refusal to provide information) then consultation with the Vetting Unit will take place to assess if sufficient vetting information can be obtained from other sources. Clearance decision The Force Vetting Unit is responsible for making the security clearance decision based on the guidance contained in the Personnel Security Section of HM Government s Security policy framework (SPF) and HO Guidance 54/2003. They will assess all available information and decide whether to approve, limit, refuse or withdraw clearance for an individual. Investigation into failure to obtain vetting clearance For officers and members of staff who are not cleared by the Vetting Unit for their current role, an investigation will be carried out with the following potential outcomes: moved to a role which requires a lower level of vetting (if available and provided that the officer / staff member can gain vetting clearance at the lower level); the disciplinary process may be instigated if the vetting process identifies issues that the officer or member of staff should have disclosed to the Force earlier; or dismissal. Pending the outcome of investigations the individual should be moved temporarily onto appropriate duties based on a risk assessment and advice from the Vetting Unit. Dispensing with services In extreme cases, it may be necessary to dispense with the services of a member of staff on security grounds. This decision will only be made at ACPO level and following consultation with the relevant staff association. Vetting guidance Page 2 of 35

3 Confidentiality Information provided by applicants for vetting purposes is personal and sensitive and will be kept confidential at all times. All material obtained during vetting enquiries will be retained in secure IT systems or held securely within the Force Vetting Unit and separate from the individual s personnel file. Further information Further information is available from the Force Vetting Unit or Divisional or Departmental Business Managers. Legal issues Human Rights Act article 8 In the application of this policy we will adhere to Article 8 of the Human Rights Act This states that 'There shall be no interference by a public authority with the exercise of this right except such as in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the: prevention of disorder or crime; protection of health or morals; or protection of the rights and freedom of others.' Human Rights Act article 14 In the application of this policy we will adhere to Article 14 of the Human Rights Act This states that people can enjoy rights and freedoms without discrimination on any ground such as sex, race, colour, language, religion, political or other opinion, national or social origin, association with a national minority, property, birth or other status. Opportunities for blackmail Matters relating to an individual's sexual orientation, or their right to practice individual sexuality, are not generally relevant to the vetting process. However, all members of staff must ensure that their behaviour, at all times, does not bring disrepute, or provide opportunities for unscrupulous individuals to blackmail them with a view to obtaining sensitive information or intelligence. Breaches of Official Secrets Act Members of staff commit offences under the Official Secrets Act if they are entrusted with sensitive documents or articles and fail to: Step Action 1 deal with them in a manner specified in their official duties; 2 take care to prevent their unauthorised disclosure; or 3 adequately vet people before allowing access to them. Vetting guidance Page 3 of 35

4 Types of vetting Introduction There are currently two types of vetting procedures in operation within the police community: Force Vetting; and National Security Vetting. Force Vetting procedures are separate but complementary to those for National Security Vetting and are designed to counter specific threats. Reason for Force Vetting Force Vetting came about because unauthorised disclosures of sensitive police assets revealed that National Security Vetting procedures do not fully meet the level of assurance required by the police community. For example, the Security Check process does not routinely assess an individual's: financial situation other than through a credit reference check; or vulnerability by checking criminal intelligence systems. Examples of application Force Vetting, using the Management Vetting process, is more appropriate for individuals with access to sensitive police assets, while National Security Vetting, using the Security Check process, is more appropriate for those with access to sensitive government assets. Need to know Even if an individual has appropriate vetting clearance, they should still be denied access to sensitive government or police assets if they do not need to know about the subject matter. The distribution of assets should be no wider than is necessary to ensure police business is conducted efficiently. Exception You do not need to vet individuals who are admitted to police premises if they: 1. remain under constant supervision; and 2. do not have access to Force computer systems or protectively marked material. Vetting guidance Page 4 of 35

5 Force Vetting Introduction Force vetting provides an assurance as to the integrity and reliability of persons seeking employment in the police community, or those already serving who have access to criminal intelligence, financial and operational police assets. Force Vetting includes: Recruitment Vetting (RV); Management Vetting (MV); and Non-Police Personnel Vetting (NPPV). These vetting procedures are preceded by the completion of a full police 'Basic Check.' Police Basic Check A police Basic Check allows police officers, specials, community support officers and police staff regular access to police or government assets marked confidential and occasional access to those marked secret. A police Basic Check requires applicants to prove their identity and disclose police cautions and convictions. As the Rehabilitation of Offender's Act (Exceptions) Order 1975 applies, all convictions must be declared, including those which could otherwise be regarded as spent. Recruitment Vetting The Force requirements to meet recruitment standards are outlined in Home Office Circular 54/2003. These checks include qualifications, nationality, finances, credit reference check, criminal convictions and references. This will also include a Counter Terrorist Check. Management Vetting Management Vetting (MV) provides a means of ensuring that persons serving in designated posts are assessed as to their reliability and integrity. 'Designated' posts are those seen as high risk, i.e. where people have access to sensitive police information, intelligence, financial or operational assets. All individuals with regular access to secret police assets and occasional access to top secret police assets must go through the MV process. Vetting guidance Page 5 of 35

6 To obtain MV clearance, applicants must have successfully completed the Basic Check procedure, and provided the Force Vetting Unit with: a completed Full Personal Information Questionnaire (Per 64) and a Full Financial Questionnaire (Per 66); all relevant information; and written authorisation for the checks and enquiries to be carried out. This includes an assessment by the Force Medical Officer and Occupational Health, Safety and Welfare in respect of the individual s fitness. Any decision may be reviewed in the light of changed medical circumstances. Serving in an MV designated post does not mean individuals automatically have access to government protectively marked assets. They must undergo additional checks to achieve National Security Vetting 'Security Check' clearance. MV clearance will not be refused without the applicant having an opportunity of meeting the Force Vetting Unit. Definition of designated posts A designated post is one where the opportunity to compromise sensitive police assets is highest and where there could be substantial risk of serious damage to the Force. Serious damage is defined as: 1. frustrating the prevention or detection of serious, organised or major crime; 2. frustrating the apprehension or prosecution of such offences; 3. causing significant financial loss to the Force; 4. inappropriate or unlawful awards of contracts; or 5. otherwise adversely effecting the reputation or security of the Force. Employment in designated posts Vetting clearance is a prerequisite of employment in designated posts. Applicants who refuse to undergo vetting or are not medically or mentally fit will not be considered for appointment. Existing members of staff will be permitted to remain in designated posts while vetting is carried out. Those staff who do not wish to be vetted will not be required to do so, but will not be permitted to continue working in designated posts. Vetting guidance Page 6 of 35

7 National Security Vetting Introduction National Security Vetting protects sensitive government national security assets, by providing a level of assurance as to the integrity of individuals who have access to protectively marked government assets or require access to people, sites or materials at risk of attack by terrorists. National Security Vetting includes: Counter Terrorist Check (CTC); Security Check (SC); and Developed Vetting (DV). All these vetting procedures are preceded by the completion of checks to the Baseline Personal Security Standard (referred to Baseline Standard or BS) which replaces the former National Security 'Basic Check.' Baseline Standard The purpose of conducting rigorous pre-appointment checks is to: ensure that all new, directly recruited staff are entitled to work within the UK and, where appropriate, meet nationality rules for government service; guard against the employment of anyone posing as a prospective employee for commercial or personal gain; and provide a sound basis for any subsequent National Security Vetting (NSV) requirement. The Baseline Standard (BS) is not a formal security clearance but aims to provide an appropriate level of assurance as to the trustworthiness, integrity and probable reliability of prospective employees. It verifies the individuals: identity; employment history; nationality and immigration status; and criminal record (unspent convictions only.)* Additionally, prospective employees are required to give a reasonable account of any significant periods (6 months or more within the last three years) of time spent abroad. * The requirement to declare only unspent convictions does not apply when the Baseline Standard is being carried out as a part of the groundwork for National Security Vetting, where a full check of criminal records (both spent and unspent ) will be made as part of the process. Vetting guidance Page 7 of 35

8 Counter Terrorist Check Counter Terrorist Checks (CTC) should prevent those who may have connections with terrorist organisations, or who may be vulnerable to pressure from them, from gaining access to persons, premises and information useful to terrorists. A check to the Baseline Standard should be carried out before the CTC security questionnaire is completed. CTC clearance on its own does not allow access to, knowledge or custody of protectively marked government or police assets. Access to protected documents etc. depends on the individual s Baseline Standard clearance. Security Check A Security Check (SC) is required for: long term and frequent unsupervised access to assets or documents classified as Secret; and occasional access to documents or assets classified as Top Secret. Employees serving in such posts will be CTC cleared as part of the SC process. Long term and frequent is defined as unsupervised handling of secret assets or documents which allow an individual the ability to gain an overall picture of a secret plan, policy or project whether on a daily or weekly basis. This criteria excludes: the occasional sight of secret material in the course of normal working practice; the simple custody of a small quantity of secret material or assets and entry into areas where it is stored; access to an area where Secret or Top Secret information may be overheard; or use of equipment capable of handling secret information. Individuals applying for SC status will be required to complete a security questionnaire. Developed Vetting Developed Vetting (DV) is required for: long term, frequent unsupervised access to assets or documents classified as Top Secret; or individuals in a position to compromise the most sensitive methods or operations of the security or intelligence services. Vetting guidance Page 8 of 35

9 This criteria excludes: the custody of a small quantity of Top Secret material; occasional access to areas: which hold Top Secret material; where Top Secret information could be overheard; where there is equipment for handling Top Secret information; and where there are control access measures in force. Individuals applying for DV status will be required to complete a security questionnaire and attend an interview conducted by the Developed Vetting Agency. Levels of clearance required by post holders and non police personnel Basic Check (BC) It is recommended that people with the following posts are submitted to Basic Checks under both Force and National Security Vetting procedures: all police officers; all police staff; temporary staff; agency staff; non police personnel, e.g. contractors; interpreters; lay visitors; work experience people; and volunteers who have access to police stations. Recruitment Vetting (RV) All applicants for appointment by WYP, such as police officers, police staff, special constables and police community support officers will be required to complete a full personal questionnaire (Per 64) and a full financial questionnaire (Per 66) There may be occasions when it is appropriate for an applicant to complete an Abbreviated Financial Questionnaire (Per 67), e.g. if they were employed as part of the extended police family under the Community Safety Accreditation Scheme (unless they are undertaking a designated role in the Force); Whichever questionnaire is completed, it will be compared with the results of a credit reference check. These applicants will also be checked against the intelligence databases in the Professional Standards Department. Vetting guidance Page 9 of 35

10 Consultant s and volunteers It may be appropriate for a consultant or volunteer to complete an Abbreviated Financial Questionnaire (Per 67) unless they are undertaking a designated role in the Force. Advice can be obtained from the Force Vetting Unit. Counter Terrorist Check (CTC) It is recommended that people with the following posts are subjected to CTC: all new recruits to the Force either as police officers, police staff, special constables or police community support officers. all police staff in posts: giving unsupervised access to information technology systems including PNC, Command and Control, Operational Intelligence and plans (excluding word processor only systems); and in close proximity to public figures who: are assessed to be at particular risk from terrorist attack; or have access to premises, information or material which is assessed as of value to terrorists. Management Vetting (MV) It is recommended that people with the following posts are designated and subjected to MV: Chief Constable s Staff Officer; Chief Constable s Secretary; Deputy Chief Constable s Staff Officer; Deputy Chief Constable s Secretary; Assistant Chief Constable s Staff Officers; Assistant Chief Constable s Secretaries; Detective Superintendents; Special Branch police officers and police staff; Financial investigations officers who assist Special Branch; Police staff with access to Special Branch systems; Hostage negotiators; Firearms Tactical Advisers; Force and Divisional Intelligence Unit staff; Technical Support Unit staff; and any other staff when employed in roles designated as needing regular unsupervised access to classified material commensurate with their role. Security Check (SC) In practice, applicants for SC clearance must have already been granted MV clearance and many of the requirements of the SC procedure will have already been carried out. This means that posts requiring SC clearance are the same as listed under MV above. Members of staff serving in SC designated posts will be CTC cleared as part of the SC process. Vetting guidance Page 10 of 35

11 Developed Vetting (DV) It is recommended that people with the following posts are subjected to Developed Vetting: Chief Constable; Deputy Chief Constable; Head of Special Branch; Head of Crime Management; and Head of Crime Division. Responsibilities Individuals questionnaire For the purposes of this policy guidance, individuals are responsible for: No Responsibility 1 informing their business manager at their division or department in writing whenever their domestic circumstances change. Such changes will include remarriage, cohabitation or change of address; 2 immediately informing their supervisors of any inappropriate or unauthorised requests to disclose confidential information made by: colleagues members of the public other agencies The member of staff or their supervisor should immediately report these requests to the Intelligence Unit of the Professional Standards Department. (Confidential reporting line, ext or external Note: This line is not continuously monitored so is unsuitable for matters requiring an immediate response) In the case of Security Checks or Developed Vetting post holders, the security controller must be informed; 3 if they hold National Security Vetting clearances DV and SC, completing and forwarding a Change of Personal Circumstances Questionnaire to the Force Vetting Unit. The questionnaire will be submitted to the Vetting Officer Security Service for National Security checks to be made. Failure to notify relevant changes could result in the withdrawal of a vetting clearance. However, they can report relevant changes in the knowledge that notifications will be met with a sympathetic response. It would only be in the most serious cases that consideration would be given to the withdrawal of clearance. Vetting guidance Page 11 of 35

12 Nominated sponsor For the purposes of this policy guidance, business managers are the nominated sponsors in their Division or Department. They are responsible for good security in their area of supervision. This means: No Responsibility 1 creating a positive climate in which security is given an appropriate priority and where individuals are encouraged to discuss issues and concerns before they become problems; 2 setting the vetting levels of posts in consultation with their Divisional or Departmental Head and the Force Vetting Unit, Professional Standards Dept, to decide the appropriate vetting level needed to keep buildings and systems secure; 3 providing applicants with the appropriate questionnaires and verifying the identity of applicants prior to vetting taking place. Further guidance regarding vetting of non police personnel, e.g. contractors etc. can be accessed via this link; 4 informing the Force Vetting Unit when job applicants require vetting; 5 verifying that vetting has taken place; 6 briefing new appointments and agency staff or contractors etc to ensure they understand the security requirements; 7 restricting the access of all staff and non police personnel to police premises and assets until their identity and vetting status has been confirmed; 8 monitoring employees behaviour and reporting any concerns, e.g. changes in their lifestyle, to the Force Vetting Unit; 9 informing the Force Vetting Unit when existing employees require vetting. Existing employees may require rechecking if their personal circumstances change or they are moving to a more sensitive post; and 10 reporting annually on individuals security status as part of ongoing supervision. Estates Department For the purposes of this policy guidance, Estates Department is responsible for: No Responsibility 1 deciding whether full or abbreviated vetting is required based on the role and type of work being undertaken and identifying access requirements of contractors. If they are undertaking a designated role, then full non police personnel vetting will be required; Vetting guidance Page 12 of 35

13 2 liaising with the Force Information Security Officer in Corporate Review Dept, and the Force Vetting Unit in Professional Standards Dept, to decide the appropriate vetting level needed to keep buildings and systems secure; 3 initiating the initial vetting of contractors and maintaining appropriate records. Note: Only nominated sponsors have responsibility for confirming vetting status before allowing access; 4 overseeing the process by which nominated sponsors verify that contractors are vetted before they access Force assets or enter police premises; and 5 recording and retaining the name, company and date of vetting of contractors so that they can supply the information readily to other members of the Force when required. Recruitment Section For the purposes of this policy guidance the Recruitment Section is responsible for overseeing the process by which nominated sponsors verify that agency staff are vetted before they access Force assets or enter police premises. Professional Standards Department For the purposes of this policy guidance, the Force Vetting Unit, Professional Standards Department, is responsible for giving each vetting application a unique reference number. IT Department For the purposes of this policy guidance, the IT Department, is responsible for: No Responsibility 1 liaising with the Information Security Officer and the Force Vetting Unit to ensure that they do not grant access to Force systems before the employee, including agency staff, or contractor has been vetted; and 2 checking NSPIS HR to ensure vetting has occurred. Recruitment process Introduction Before a job is offered, details of the successful applicant(s) must be submitted to the Recruitment Section for pre-employment screening. They will carry out all security and driver licence checks, if appropriate. Vetting guidance Page 13 of 35

14 Applicants should not be informed that they have been 'successful pending the satisfactory completion of security checks.' They should be told that any offer of employment is made subject to satisfactory completion of all medical, reference and vetting procedures. All staff When recruiting members of staff, a check must be made to find out if anything is known to the detriment of the individual or others residing with them who could increase their vulnerability, bring discredit on, or otherwise cause embarrassment to the Force. For example: their spouse, civil partner or partner; close relatives such as parents, in-laws and siblings; or co-residents, e.g. people sharing the same house. Acceptable proofs of identity The preferred means of establishing an individual's identity is a full 10 year current British or European Economic Area passport. This must be produced if held. If an individual does not hold a full passport then at least two from the following list should be produced (photocopies are not acceptable): British driving licence; full birth certificate (issued at or within six weeks of birth - not a short replacement); form P45; cheque book and bank card with three statements and proof of signature; credit card with three statements and proof of signature; and proof of residence such as council tax, gas, electric, water or landline telephone utility bills. Unacceptable proofs of identity The following are not acceptable proofs of identity: forces ID card; library card; P60; National Insurance number; medical card (unless it shows the individual s current address); birth certificate (issued more than 6 weeks after birth); marriage certificate; provisional driving licence; international driving licence; mobile telephone bill; photocopied or duplicate identity documents; or old British visitors passport. Concerns about documents Any concerns about the documents used to verify the identification of the member of staff should be referred to the Force Vetting Unit, Vetting guidance Page 14 of 35

15 provided Professional Standards Dept. Checks A check of the individual will be made on police systems. Police officers, police staff, specials and police community support officers will also undergo a Counter Terrorist Check as well as volunteers with access to protectively marked documents. Checks will be made on the individual's spouse, civil partner or partner, close relatives such as parents, in-laws, siblings, or others residing with the individual. Applicant resides outside Force area If an individual resides outside the area of the force to which they are applying, it is necessary to request the other force to check crime information systems and Special Branch records. On receipt of a request in West Yorkshire, checks will be conducted promptly to avoid delays in processing the application. Declaration Individuals must declare whether or not they have any cautions and criminal convictions or have received a fixed penalty notice. The Full Personal Information Questionnaire (Per 64) must be checked to ensure that it has been fully completed. Where required information is not supplied, it will lead to the form being returned or rejected. Where it is believed the applicant has failed to disclose relevant information, the application will be rejected. On appointment On completion of satisfactory vetting and appointment to post, it is essential that all members of staff and others working on Force premises wear their identification card at all times. Security questionnaire Introduction The security questionnaire is a twelve page document. It is important that all sections of the form are completed or the form will be returned for correction and cause delay. Supplies of the security questionnaire can be obtained from the Force Vetting Unit and Special Branch. Vetting guidance Page 15 of 35

16 Process The person managing the recruitment and selection process is responsible for: sending out the security questionnaire to the applicants for specified posts; checking the questionnaires have been completed properly when they are returned; as soon as possible, forwarding completed questionnaires to Force Vetting Unit. Verifying the applicant's identity The person receiving the questionnaire from the individual needs to endorse it to the effect that the individual's identity has been verified. A record will be kept with the security questionnaire showing how identity was verified. A list of acceptable proofs of identity can be accessed via this link. Verifying a young person's identity Young persons who may have difficulty in fulfilling these requirements should be asked to provide a letter and passport photograph countersigned by a professionally qualified person. Such a person must have known the individual personally for at least 2 years. Educational and professional qualification Original educational and professional qualifications certificates will always be examined. Personnel Department will make random checks with the issuing examining board or institution to ensure accuracy of the details recorded on the certificate. Gaps in employment history Any unexplained or unsatisfactory gaps (over six months) should be checked by telephone or letter (as appropriate) for a satisfactory explanation e.g. redundancy from last job, seeking other work, caring for elderly relative etc. If a satisfactory reason is given, a note should be made on the application form and the application may proceed. Any queries about employment gaps or history should be satisfied prior to assessment. Frequent changes in career There may be a very good reason for an individual to have changed jobs frequently. They may have tried out several careers after leaving school or before turning to policing. Individuals may be asked to give an explanation where this appears to be the case, but this is not necessarily a barrier to selection. Each case should be considered on its own merits. Vetting guidance Page 16 of 35

17 Lawful debts and financial vetting Schedule 2 of Police Regulations states that a member of a police force shall not wilfully refuse or neglect to discharge any lawful debt. Any individuals applying to be an employee of West Yorkshire Police should normally be free from undischarged debt or liability and able to manage existing loans. The emphasis should be on sensible management of debt. Where debts are declared, the financial vetting check should be made at the start of the recruitment process. Otherwise, it may be conducted post assessment and prior to appointment. Discharged bankrupts Individuals who have been registered as bankrupt and their bankruptcy debts have been discharged should not be considered until three years after the discharge of the debt. Undischarged bankrupts Individuals who have been registered bankrupt and their bankruptcy debts have not been discharged should not be considered. County Court Judgements Individuals who have discharged County Court Judgements should be considered. Cautions and criminal convictions Introduction The Force will not employ people with cautions or convictions which may call into question the integrity of the employee or the service. Each case will be judged on its own merits. The criminal conviction criteria defined by this procedure and provided to the applicant in the notes attached to the personal questionnaires, will be used to assess each person's suitability on an individual basis. It is not an exhaustive list. There may be circumstances where an individual does not fall within the criteria, but whose suspected involvement in crime or violent behaviour or criminal associations, make an offer of employment inappropriate. Vetting guidance Page 17 of 35

18 Serious offences In accordance with Home Office Circular 54/2003, applications should be rejected if an individual has been convicted or cautioned for a serious arrestable offence such as: treason; murder; manslaughter; rape; kidnapping; incest/intercourse with a girl under 13; buggery with a boy under 16 or a person who has not consented; hostage taking, hi-jacking or torture; involvement in espionage, terrorism, sabotage or any actions to overthrow / undermine parliamentary democracy by political, industrial or violent means or association (past or present) with any organisation advocating such activities; death by reckless driving; firearms offences linked to a serious crime; or racially motivated or homophobic offences. Violence Convictions which will lead to rejection unless there are very compelling circumstances, include: offences involving serious violence or injury including grievous bodily harm and actual bodily harm*; offences involving unsolicited violence towards others; unlawful possession of weapons, firearms or going equipped to steal; gross indecency; acts of indecency; abuse or neglect of children; or public order offences - involvement in riot, violent disorder, affray, causing intentional harassment, alarm or distress. *The Force should be aware that previously the infliction of a minor injury would lead to a charge of ABH. The charging criteria have changed, so that the same minor injury would now attract a charge of common assault and would not necessarily lead to the rejection of a candidate. Convictions for ABH should be examined to see if they would now be classed as common assault. If so, they should be considered under the common assault criteria. Dishonesty Convictions which will lead to rejection unless there are very compelling circumstances, include: interference with the administration of justice or the investigation of offences; burglary; or offences which involve elements or acts of dishonesty, corruption, substantial financial gain or serious loss to anyone including theft, fraud and deception. Vetting guidance Page 18 of 35

19 Drugs & driving Convictions which will lead to rejection unless there are very compelling circumstances, include: any conviction of possession of a class A drug (Heroin, morphine) or more than one conviction of a class B drug (amphetamines) and / or supplying drugs of any kind; reckless or dangerous driving within the last 10 years; one offence of drink driving or drunk in charge or drugs driving within the preceding 10 years; more than one offence of drink driving or drunk in charge or drugs driving; other serious motoring offences such as convictions within the last 5 years of driving without insurance, failing to stop after an accident, or driving whilst disqualified; more than three endorsable traffic convictions (including fixed penalties) within the last five years (for offences on different dates); or two or more convictions for regulatory offences such as failure to renew vehicle excise licence within the last five years. General convictions Convictions which will lead to rejection unless there are very compelling circumstances, include: any offence committed as an adult or juvenile which resulted in a prison sentence (including custodial, suspended or deferred sentence and sentences served at a young offenders' institution or community home); cautions (including reprimands and final warnings) for recordable offences within the last 5 years; juvenile convictions within the last 5 years for any recordable offence; having served a prison sentence of 6 months or less within the last 7 years; having served a prison sentence of more than 6 months to 2½ years in the last 10 years; or having served a prison sentence of more than 2½ years. Outstanding charges and summonses Where an individual discloses an outstanding charge or summons, the application should be put on hold until the outcome is known, at which point it will be considered in accordance with this procedure. Vetting guidance Page 19 of 35

20 Age and aggravating circumstances An individual's age at the time of an offence and the aggravating circumstances surrounding the offence will all have a bearing in the following cases: drunk and disorderly - no more than one offence and only after 2 years have elapsed following a caution or 3 years have elapsed following a binding over or conviction; minor drug offences or substance abuse - no more than one offence and only after 2 years have elapsed following a caution or 3 years from conviction; or common assault - no more than one offence as a juvenile or young adult and only after 2 years have elapsed from end of binding over or conviction. Relatives and associates Where third party checks of relatives or associates of an individual reveal convictions or cautions for recordable offences, the following should be considered: the likelihood that the individual's performance of duty will be adversely affected e.g. through adverse pressure or a conflict of interests; the nature, number and seriousness of the offences or involvement in criminal activity and the time period over which these took place; whether the circumstances are likely to bring discredit to or embarrass the police force; and whether the existence of the convictions will genuinely induce a conflict of interest in the discharge of the individual's duties. The results of these third party checks will be kept securely within the Force Vetting Unit. HM Forces Serving members of the armed forces who are convicted of any criminal offence by a military tribunal will have any such offence recorded on PNC. This will include any aspect of a conditional discharge. Criminal convictions and police staff When assessing the criteria with regard to criminal convictions for members of police staff, some discretion may be applied with due regard to the type of role and to the level of access to Force computer systems. A risk assessment must be undertaken to assess suitability with regard to the nature of the post, level of access to systems and the conviction. Vetting guidance Page 20 of 35

21 Undisclosed convictions When it is suspected that an individual has failed to declare a conviction or caution, enquiries should be made to ascertain whether the conviction or caution is attributable to the individual. Such enquiries will include reference to the relevant court to ensure that the conviction has not been overturned on appeal. Where it is established that an individual has deliberately failed to disclose a conviction or caution, their application will be rejected. Right of appeal Information about rights of appeal can be accessed via this link. References Introduction References will be requested for applicants from employers or educational establishments, as appropriate. They will be used to verify statements made by the individual and establish if there are any reasons why they should not be employed by the Force. Education Schools or colleges should be contacted if the individual has not worked before or if there is insufficient employment history. In the case of an individual applying to join as a police officer, Form PC42 should be used. Address All addresses at which the individual has lived for more then 3 months, since the age of 14 years may be checked. Applicants should provide information on previous addresses on a continuation sheet attached to the Per 64 or Per 65. Obtaining references Employment references should: be obtained in a consistent and systematic way. In the case of an individual applying to join as: 1. a police officer, Form PC17 should be used; or 2. police staff, Form Per21 should be used; cover a minimum of 5 years prior to the application; include the current or last employer; confirm employment between specific dates and the position(s) held; and ascertain whether the individual: 1. attends work regularly; 2. is punctual; 3. performs satisfactorily; and 4. is subject to disciplinary problems. Vetting guidance Page 21 of 35

22 References should not normally be requested from current employers until there is a firm offer of appointment. Any variation from this should have the individual's agreement. References from other police forces References should always be taken from previous police service employment. Forces are asked to supply full details of an officer's good conduct, discipline record and absence record. Other references If an individual has served in the armed forces, in the civil service or as a seaman they should produce satisfactory proof of their good conduct while serving. Character references Although character references (other than from employment) should not be sought as a matter of course, voluntary work or other activities can sometimes give a good indication of whether an individual is likely to have the qualities to become an effective police officer. With the agreement of the individual, we may seek references from groups or individuals who would be in a position to provide information which would help us assess an individual's suitability for appointment. Random sampling The Home Office advises that a random sample of referees and countersignatures should be contacted by telephone to verify the accuracy of what has been submitted by the individual. Personnel Department is responsible for making and recording these random checks. Applicant found to be unsuitable Introduction The file will be referred to the Force Vetting Officer in all cases where checks indicate that an individual is possibly unsuitable for employment or an internal move to a designated post. The Force Vetting Officer will make enquiries into the information contained within the file and determine whether vetting clearance is granted or refused. Where vetting clearance is refused, notification will be sent to the Recruiting Department or the sponsor of the individual. Individuals who are refused vetting clearance will be informed of that decision but no further details will be supplied. The Force Vetting Officer may exercise discretion in this area. Vetting guidance Page 22 of 35

23 Individuals who fail to obtain vetting clearance for a move into a Designated Post will be advised of the Appeal Process. Unfit for designated posts The following factors may, through dishonesty or lack of integrity, create a presumption of unfitness for employment in 'designated posts:' past infringement of security or vetting policy or procedures; significant or repeated breaches of discipline; providing false or deliberately misleading information or omitting significant information from the vetting questionnaires; unauthorised association with persons with previous convictions or reasonably suspected of being involved in crime; and criminal convictions or cautions. Impaired judgement The following circumstances are regarded as likely to impair judgement or may result in a person being vulnerable to pressure or inducements: substantial financial difficulties or debts; compulsive drinking or gambling; use of controlled or abuse of prescribed drugs; if the FMO certifies that their employment in the post puts the confidentiality, integrity or availability of intelligence assets at risk because of defects in judgements; or any other conduct likely to allow such pressure. Nationality or non residency If an individual is not resident in this country, checks still need to be made on criminal and financial records. An individual might be rejected on the grounds that they have not been in this country long enough for the necessary checks to be made which would establish their suitability for the post. However, we might consider making the checks if, for example, the individual has worked in the British Embassy for a number of years. Each case will be considered on its own merits. Non declaration of convictions If an individual does not declare any convictions and it is highlighted by vetting that they have convictions, then they should be informed that they have been rejected for NOT declaring a conviction. Where it is established that an individual has deliberately failed to declare a conviction or caution their application will be rejected. Vetting guidance Page 23 of 35

24 Relative's associations or convictions The Force Vetting Unit will decide if an individual is unsuitable because of their relative's convictions or associations. The results of checks on relatives and associates must not be disclosed to an individual. They will only be told that security clearance has not been granted. Action prior to attestation of police officers or specials Introduction Due to the delay in the recruitment process some police officer and special recruits are not attested (sworn in) until several months after their applications were received. Information given at the application stage about personal circumstances, arrests and convictions of criminal offences etc. could have changed in the intervening period. Recruits should be: warned of the consequences of the failure to provide accurate information; and requested to sign and date a declaration sheet stating that they have no relevant changes to report. Notification of relevant changes If relevant changes are declared then their implications should be assessed prior to attestation. This will prevent the recruitment of inappropriate candidates, reduce the need for misconduct hearings and limit legal challenges. Consequences If individuals fail to notify us of relevant changes to the information they have given and these omissions are subsequently discovered, disciplinary procedures will be instigated. Police officers may be discharged under Regulation 13 of Police Regulations 2003 and special constables under Section 27 of the Police Act Reporting changes in personal circumstances Introduction It is the duty of all members of staff, whether or not serving in designated posts, to tell the Force of changes in personal circumstances that could impact on their suitability to continue to hold their level of clearance. Individuals should notify: their line manager; Personnel Department for consideration and inclusion in their personal file; and Vetting guidance Page 24 of 35

25 the Force Vetting Unit to re-assess their clearance. Failure to notify relevant changes could result in the withdrawal of vetting clearance. Examples of changes Changes in personal circumstances that need to be notified include changes in: spouse; civil partner; partner; address; criminal associations; and financial circumstances. Members of staff must also obtain permission from the Force before taking on secondary employment or a business interest or acquiring a financial interest. Changes making individual unsuitable Members of staff who hold National Security Vetting clearances of SC and DV must complete a Change of Personal Circumstances Questionnaire and send this to the Force Vetting Unit. The questionnaire will be submitted to the Security Service to enable checks to be made. If these checks reveal problems, the Head of Special Branch will review the clearance in consultation with ACC / ACO with responsibility for personnel issues and the Head of Personnel and Training. If clearance is subsequently withdrawn or refused, the Security Service, which holds a central database of National Security Vetting clearances and removals, should be notified immediately. Annual checking of Force Vetting clearances Introduction All members of staff with MV and NPPV clearance will be required to make a declaration annually, regarding their personal circumstances. They will be required to: notify relevant changes to their personal circumstances which they have not previously reported; or confirm that there are no relevant changes. Vetting guidance Page 25 of 35

26 Line managers Line managers are responsible for checking whether the personal circumstances of all their staff with MV and NPPV clearances have changed annually. They should: complete the assessment form in respect of the previous year; and record any relevant information which has not already been notified to the Force Vetting Unit regarding changes in personal circumstances or factors suggesting an individual's unfitness or impaired judgement. For WYP staff this process should be undertaken during the annual PDR interview. Completed forms should be forwarded under 'Restricted' cover to the Force Vetting Unit. Force Vetting Unit The Force Vetting Unit will consider each assessment, take any necessary action and file the form on the individual s vetting file. Renewal periods of vetting clearances Introduction Security clearances, once completed, are not indefinite and only last for specific periods as follows: CTC clearance ten years, SC clearance ten years, DV clearance five years (thereafter every seven years), MV and NPPV clearance five years. Individuals whose clearance is due for renewal will be required to complete new questionnaires giving consent for the process to be carried out. The process will be conducted in line with the criteria for initial vetting. Reviews at an earlier stage Any level of clearance may be reviewed at an earlier stage if adverse information comes to light relating to the subject, or there is a material change in an individual's personal circumstances. Recording review dates and clearance levels The personnel officers in divisions and departments are responsible for recording on employees personal files: the level of security clearance given to that member of staff; and the date that clearance needs to be reviewed. Vetting guidance Page 26 of 35